Manager, Compliance Advisory

McLean 1 (19050), United States of America, McLean, Virginia

At Capital One, we're building a leading information-based technology company. Still founder-led by Chairman and Chief Executive Officer Richard Fairbank, Capital One is on a mission to help our customers succeed by bringing ingenuity, simplicity, and humanity to banking. We measure our efforts by the success our customers enjoy and the advocacy they exhibit. We are succeeding because they are succeeding.

Guided by our shared values, we thrive in an environment where collaboration and openness are valued. We believe that innovation is powered by perspective and that teamwork and respect for each other lead to superior results. We elevate each other and obsess about doing the right thing. Our associates serve with humility and a deep respect for their responsibility in helping our customers achieve their goals and realize their dreams. Together, we are on a quest to change banking for good.

Manager, Compliance Advisory

Title: Manager, Compliance Advisory
Level: Manager

Job Description:
The Manager, Compliance Advisory will assist in the creation, management, and oversight of a robust Compliance Management Program supporting the Risk Management and Corporate Strategy business areas. The associate will play a critical role in maintaining the second line of defense by ensuring business initiatives, activities, policies, and processes comply with applicable laws and regulations. Working within established frameworks, the associate will identify, evaluate, and manage compliance requirements in assigned areas, oversee compliance activities managed by others, support business areas with subject matter expertise, participate in risk management processes, and engage in various enterprise compliance programs and initiatives which strengthen risk practices and improve the overall state of compliance. Additional responsibilities will include supporting efforts to implement a federated compliance model across multiple groups and developing or modifying policies and procedures as they evolve.

The successful candidate will be self-starting and possess both analytical and strategic thinking skills. He or she will have exceptional relationship-building, facilitation, and communication skills, and will be able to seamlessly integrate with, influence, and drive change across corporate functions and Business Risk Offices. The Manager, Compliance Advisory will support these groups through various interactions and forums by:

  • Providing subject matter expertise and guidance on compliance standards and practices, compliance requirements, controls over compliance requirements, and business line monitoring of those controls;
  • Performing risk-based design reviews of business line activities, processes, and controls, and offering guidance on identified risks;
  • Continuously assessing the state of compliance risk, providing effective challenge, and recommending controls or control enhancements;
  • Providing support and advisory on business line remediation and recovery plans; and
  • Leading or facilitating various workstreams of significant risk and compliance projects and initiatives.


Responsibilities:
  • Maintain subject matter expertise in applicable laws, regulations, regulator guidance, and leading compliance standards
  • Serve as a credible business partner representing the Compliance organization to corporate functions, business lines, and other stakeholders
  • Build and execute the requirements of the Compliance Management Program for the Risk Management and Corporate Strategy groups
  • Provide business line advisory in the definition, development, and monitoring of controls related to applicable requirements
  • Conduct or support risk and control assessments across lines of business, for new products, and for key programs and initiatives, advise business lines of identified risks, and support remediation efforts and/or policy and process changes
  • Evaluate audit, regulatory, and self-identified issues and events for compliance impacts
  • Coordinate with cross-functional teams to accomplish shared objectives
  • Support the management of issues with business lines and risk offices as they arise
  • Anticipate, identify, and escalate risk scenarios early and propose potential mitigations
  • Create and implement an ongoing engagement model with corporate functions to ensure compliance with policies, standards, and procedures
  • Review business area performance relative to key metrics
  • Continuously monitor the internal and external environment for emerging risks, trends in data, compliance impacts, and regulatory focus areas
  • Recommend appropriate risk and compliance training, and evaluate additional training needs

Basic Qualifications:
  • Bachelor's Degree or military experience
  • At least 5 years risk, compliance, audit, or legal experience
  • At least 3 years experience in banking / financial services or related field


Preferred Qualifications:
  • Graduate Degree (M.B.A., J.D, or similar)
  • Relevant certifications such as Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), etc.
  • Proven ability to communicate, collaborate, and manage relationships with stakeholders at various levels in a highly matrixed organization
  • Strong written and verbal communication skills
  • High energy and a desire to work in a results-driven, rapid-growth environment
  • The judgment to analyze, evaluate, develop and effectuate solutions to complex problems
  • Team player with creativity, resourcefulness, a passion for problem-solving, comfort with ambiguity, and strong interpersonal skills
  • Ability to prioritize among many conflicting needs and advocate a course of action while remaining flexible and responsive to dynamic situations
  • Proven track record for delivering results


At this time, Capital One will not sponsor a new applicant for employment authorization for this position.


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